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James Lawrence Carroll

Pointe Capital Management LLC

Grosse Pointe Farms, MI

CRD 1107197

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Employer firm

Pointe Capital Management LLC CRD 152520

$452M regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers
Pointe Capital Management Llc

102 Kercheval Avenue Suite 200, Grosse Pointe Farms, MI 48236 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2014-02-11
  • MI RA
    APPROVED
    Since 2014-02-11

Branch Locations

102 Kercheval Avenue Suite 200, Grosse Pointe Farms, MI 48236 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pointe Capital Management, Llc Grosse Pointe Farms MI 01/2014 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-05-25
  • S63 Uniform Securities Agent State Law Examination
    1983-05-25
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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DWP
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Nearby Investors

MARK WOJTAS
NOAH EDWARD ROBINSON
ANDREW CAMDEN

Nearby Offices

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · GROSSE POINTE FARMS, MI
DWP · GROSSE POINTE FARMS, MI
POINTE CAPITAL MANAGEMENT LLC · GROSSE POINTE FARMS, MI

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